LPL Financial · 15 hours ago
Sr Ops Specialist, New Accounts
Fort Mill/Charlotte
Full-time
Onsite
Mid, Senior Level
$17.23/hr - $28.72/hr
1+ years expLPL Financial is among the fastest growing wealth management firms in the U.S., empowering professionals to shape their success while helping clients pursue their financial goals. The Senior Operations Specialist for New Accounts ensures quality standards across operational functions and serves as a subject matter expert on operational policies and procedures.
FinanceFinancial Services
Responsibilities
Reviewing and processing new account documentation; Maintaining accounts as required
Ensuring proper application of compliance and regulatory policies and procedures
Assisting with questions from advisors and internal and external business partners
Researching complex situations and defining the actions necessary for resolution
Contributing to continuous improvement of the client experience and efficiency by documenting quality issues, performance measures, and quality improvements for management review as required
Engaging in Quality Control related tasks to identify and correct processing errors including Letter and court document review
Handling escalations by both the Service Center and Advisors
Other assignments as required by Management
Qualification
Required
1+ years of industry experience (preferably financial services) in Operations
1+ Year experience with BETA (ACCT, DOCA, DAML, SPAD, ARIE, BORD, DEMO, etc)
Ability to work independently in a fast-paced environment with multiple competing priorities
Strong attention to detail with a pro-active approach to solving and preventing problems
Ability to learn multiple aspects of the Financial Services industry and understand how it all connects
Excellent verbal and written communication skills
Preferred
1+ Year experience with Letter and court document review processing
Proficiency in quality checks for letter review
All Microsoft applications, particularly, VISIO, WORD, ACCESS, PowerPoint and Excel (VBA)
Bachelor Degree preferred or equivalent work experience
Benefits
401K matching
Health benefits
Employee stock options
Paid time off
Volunteer time off
Company
LPL Financial
LPL Financial provides investment solutions and tools for independent financial advisors.
5001-10000 employees
H1B Sponsorship
LPL Financial has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (106)
2024 (105)
2023 (122)
2022 (127)
2021 (65)
2020 (44)
Funding
Current Stage
Public CompanyTotal Funding
$2.5B2025-03-31Post Ipo Equity· $1.5B
2024-06-03Post Ipo Debt· $1B
2010-11-18IPO
Leadership Team
Rich Steinmeier
Interim CEO
Sid Vyas
Chief Technology Officer/EVP
Recent News
2026-01-23
2026-01-23
Company data provided by crunchbase